Tuesday, July 23. 2024

SEC’s Small Business Capital Formation Advisory Committee to Hold Open Meeting

The SEC’s Small Business Capital Formation Advisory Committee will hold an open meeting via webcast on sec.gov to discuss matters concerning rules and regulations affecting small and emerging businesses and their investors under the federal securities laws. The meeting will take place on Tuesday, July 30, 2024, at 10:00 a.m. EDT. This meeting is free and open for the public to attend. {expires: 2024-07-31} Continue reading "SEC’s Small Business Capital Formation Advisory..." »
Posted by
LeAnn Dey
in Events, SEC at 14:04

Thursday, July 18. 2024

FERC to Hold Open Commission Meeting

The FERC will hold its monthly open meeting via webcast on ferc.gov on Thursday, July 25, 2024, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2024-07-26} Continue reading "FERC to Hold Open Commission Meeting" »
Posted by
LeAnn Dey
in Events, FERC at 17:19

Thursday, July 11. 2024

SEC, MSRB, FINRA to Co-Sponsor Compliance Outreach for Municipal Market Professionals

The SEC, the Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) have announced that registration is now open for the Compliance Outreach Program, an event the agencies will host together in November in Denver, Colorado. The program is designed specifically to familiarize municipal market participants, including municipal advisors and broker-dealers, with their compliance obligations. Continue reading "SEC, MSRB, FINRA to Co-Sponsor Compliance..." »
Posted by
LeAnn Dey
in Events, MSRB, MSRB Filing Help, SEC, SEC Filing Help at 17:26
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